Grace Shukman Yung

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2009 → Present
  Lpl Financial, Llc
  Houston, TX

Previous Registrations

• 1995-03-31 → 2009-12-21
  Ubs Financial Services Inc.
  Houston, TX
  Houston, TX

Other Businesses

1. 10/23/2009: NO BUSINESS NAME - Not Investment Related - OTHER-ARTIST - TIME SPENT 5% - ABSTRACT PAINTING, PAINTS FOR A HOBBY BUT SOMETIMES SELLS PAINTINGS - 0 Hrs/Mth - 0 Hrs During Trading. 2. 4/23/2010: Insurance Designers - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - TIME SPENT 20% - WORKING WITH A GENERAL AGENT (INSURANCE DESIGNERS) FOR LIFE INSURANCE AND LONG TERM CARE NEEDS - 0 Hrs/Mth - 0 Hrs During Trading. 3. 7/13/2010: Midtown Financial Group, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance DBA- TIME SPENT 10% - AS A COMPREHENSIVE FINANCIAL PLANNER, I MAY NEED ASSISTANCE FROM A GENERAL AGENT IN ESTATE OR INSURANCE PLANNING PERIODICALLY - 0 Hrs/M 4. 9/18/2012: AFLAC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance- TIME SPENT 3% - REFERRAL OF AFLAC TO PROVIDE CLIENTS AND PROSPECTS WITH CANCER POLICIES, ACCIDENT POLICIES, SUPPLEMENTAL DENTAL, ETC. 5. 7/7/2014: Midtown Financial Group, LLC- Not Investment Related - 3355 W. ALABAMA, SUITE 180; HOUSTON, TX 77098 - Other-Lease office space/cost sharing arrangement- STARTED 11/01/2013 - 5 HOURS PER MONTH/1 HOUR DURING SECURITIES TRADING - LEASE OFFICE SPACE, SHARE ADMINISTRATIVE SUPPORT, AND OTHER OFFICE COSTS WITH OTHER PROFESSIONALS. 6. 3/10/2015: G&D Insurance Group, LLC. / American Family Heritage / Torchmark- Investment Related - At Reported Business Location(s)- Non-Variable Insurance- Start Date:03/12/2015 - 2 HOURS PER MONTH/0 HOURS DURING SECURITIES TRADING - INDEPENDENT FIXED INSURANCE AGENT. 7. 8/1/2016 - No Business Name - Not Investment Related - Home Based - Other-Referral - Started 07/13/16 - 0 Hours Per Month - Referring to Group One Auto, to purchase a new or used vehicle (or lease). 8. 02/21/2017: Midtown Financial - Investment Related - 3355 W. Alabama, Suite 180; Houston, TX 77098 - Real Estate Rental - Start 03/15/17 - 1 Hour Per Month/0 Hours During Securities Trading. 9. 1/12/2018 - 3 Mark Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 04/07/2014 - 5 Hours Per Month/1 Hour During Securities Trading. 10. 1/24/2018 - AFG Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/02/2016 - 4 Hours Per Month/0 Hours During Securities Trading. 11. 9/11/2018 - Bayleaf Investment Holdings LLC (pending availabilty from state) - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 08/01/2016 - 6 Hours Per Month/0 Hours During Securities Trading - Will be owner of LLC that will own real estate for investment/rental income purposes. 12. 11/30/2018 - No Business Name yet - Investment Related - Location Address: None yet / TBD - Real Estate Rental - Started 10/25/2018 - 16 Hours Per Month/0 Hours During Securities Trading - Will be 100% owner of an LLC for Real Estate Investments / Transactions. 13. 08/14/2019 - Simplicity Life - Investment related - At reported business location(s) - Non-Variable Insurance - start date:08/01/2019 - 2 hrs/mo - 0 hrs during trading. 14. 6/28/2021 - OutSmart Magazine - Investment Related - At Reported Business Location(s) - Other-Financial Articles - Started 04/08/2014 - 3 Hours Per Month/0 Hours During Securities Trading - Submit financial planning articles to a local magazine. Submit monthly or as requested. Also magazine occasionally posts articles on their website: outsmartmagazine.com. 15. 04/07/2022- Midtown Financial Group LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 07/01/2010- 160 Hours Per Month/8 Hours During Securities. 16) 07/23/2025 - Ivy Wealth Management, LLC. - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:07/31/2025 - 30 Hrs/Mth - 30 Hrs During Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-04-26
• S63 Uniform Securities Agent State Law Examination
  1995-03-30

Other Names

• Grace S Yung